FINRA Disciplinary Actions March 2021
BYRON PAT TREAT (CRD #1466393, AMARILLO, TEXAS) February26, 2021 – An AWC was issued in which Treat was barred from association with any FINRA member …
A Timeline of Robinhood’s Legal and Regulatory Stumbles
Robinhood, the stock trading startup valued at $11.7 billion, has seen as much volatility as the equities market it allows its users to trade in …
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Robinhood Claims Now Under Investigation By Girard Bengali, APC
Girard Bengali, APC, a leading Los Angeles securities litigation law firm, has announced that it is investigating claims on behalf of Robinhood users that were …
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FINRA Disciplinary Actions January 2021
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
FINRA Disciplinary Actions December 2020
DAVID ALAN STATEMAN (CRD #5530638, MIAMI, FLORIDA) December 1, 2020 – An AWC was issued in which Stateman was barred from association with any FINRA …
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS Los Angeles, CA (Nov. …
Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC
October 30, 2020 – A finance industry regulator, Financial Industry Regulatory Authority (FINRA), has barred former NBP Financial Group advisor Cynthia Cowden (née Case) from …
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Bloomberg | E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil
This post was written and published by Bloomberg on August 18, 2020: E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil By Catherine Ngai …
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ETN Investors: Skydiving Without a Parachute in COVID-19 Economic Freefall
Imagine losing more than $800,000 investing. Now, imagine losing $800,000 investing in just two weeks. Recently, The Wall Street Journal featured the story of William …
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Finra Hits High-Turnover Broker with Excessive Trading Sanction
The era of rogue brokers is not extinct. Between July 2016 and November 2018, Frank Venturelli’s trading caused three customers to lose $373,226 while generating …
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